Search for: "Securities and Exchange Commission"
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21 Aug 2012, 11:57 am
The Securities and Exchange Commission is preparing to pay out its first award to a whistleblower under a new program designed to encourage people to report and provide evidence of potential securities frauds. [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
16 Apr 2010, 7:46 am
Goldman Sachs was accused of securities fraud in a civil suit filed Friday by the Securities and Exchange Commission, which claims the bank created and sold a mortgage investment that was secretly devised to fail. [read post]
30 Jul 2010, 4:30 pm
White Collar Watch examines the issues and problems that the Securities and Exchange Commission faces in its case against the billionaire Wyly brothers, who are accused of securities fraud and insider trading. [read post]
27 Apr 2011, 10:32 pm
Fact sheet: "The Securities and Exchange Commission voted unanimously to propose rules further defining the terms “swap,” “security-based swap,” and... [read post]
23 Apr 2010, 5:00 pm
The Securities and Exchange Commission's inspector general said Friday that he would investigate the timing of the agency's securities fraud case against Goldman Sachs. [read post]
31 Jan 2012, 12:24 pm
The hedge fund manager David Einhorn settled securities fraud charges with Britain's financial regulator, but it is unlikely the Securities and Exchange Commission would pursue similar charges against him. [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
14 Oct 2010, 10:42 pm
Talks over settling at least part of the securities fraud lawsuit filed by the Securities and Exchange Commission against three former executives of the Countrywide Financial Corporation have intensified, two people involved with the case said Thursday. [read post]
24 Feb 2025, 12:33 pm
Jarkesy, the Securities and Exchange Commission brought legal action against George Jarkesy, seeking $300,000 in civil penalties for securities fraud. [read post]
14 Oct 2008, 5:16 am
Securities and Exchange Commission, Office of Inspector General - SEC â [read post]
1 Jun 2009, 3:54 pm
Securities and Exchange Commission (SEC) Office of Inspector General â [read post]
16 Apr 2010, 12:02 pm
The Securities and Exchange Commission filed a complaint today against Goldman Sachs & Co. for “making materially misleading statements and omissions in connection with a synthetic collateralized debt obligation (“CDO”) [it] structured and marketed to investors. [read post]
4 Jan 2011, 2:00 am
Then just last week, Peter Lattman, a reporter with The New York Times wrote a story reporting that the Securities and Exchange Commission has sent information requests to persons trading in the shares of Facebook, Inc. and three other companies. [read post]
29 Jun 2012, 11:35 am
Securities and Exchange Commission announced the adoption of new rules and amendments to its proxy disclosure rules that would generally prohibit national securities exchanges from listing the equity securities of an issuer that is not in compliance with compensation committee independence requirements. [read post]
31 Jul 2012, 9:12 am
From Bill Singer: After some two-years of preparation, the Securities and Exchange Commission has just published a dramatic report on the municipal securities markets that all serious investors should read. [read post]
14 Dec 2022, 6:08 am
The Securities and Exchange Commission today announced charges against eight individuals in a $100 million securities fraud scheme in which they used the social media platforms Twitter and Discord to manipulate exchange-traded stocks. [read post]
14 Dec 2022, 10:11 am
The Securities and Exchange Commission today proposed amendments that would update the disclosure required under Rule 605 of Regulation NMS for order executions in national market system stocks, which are stocks listed on a national securities exchange. [read post]
10 Oct 2023, 10:33 am
The Securities and Exchange Commission today adopted rule amendments governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. [read post]
14 Dec 2022, 9:09 am
The Securities and Exchange Commission today adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 and new disclosure requirements to enhance investor protections against insider trading. [read post]
